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26 Jun 2019, 11:05 am
He was named Chief of Staff by Chairman Jay Clayton in May 2017.As Chief of Staff, Mr. [read post]
23 Oct 2018, 3:34 pm
She served as a cabinet-level secretary in the O’Malley administration; chief of staff to the Coppin State University president; chief operating officer ... [read post]
4 Aug 2009, 2:05 am
McLarty III, President, McLarty Associates; Former White House Chief of Staff, Task Force Co-Chair, Edward Alden, Bernard L. [read post]
11 Jan 2016, 11:12 am
Riewe began her SEC career in 2005 as a staff attorney in the Enforcement Division in Washington D.C. and was promoted to branch chief in 2008. [read post]
24 Aug 2023, 3:00 am
Johnson previously worked as the chief of staff for the Maryland General Assembly, the administrative coordinator for Optimal Beginnings LLC and business manager […] The post JAKEYA JOHNSON first appeared on Maryland Daily Record. [read post]
11 Apr 2016, 11:28 am
In 2012, he was appointed co-deputy chief of the unit and was appointed co-chief in 2013. [read post]
24 May 2020, 8:20 pm
.; Ron Dimock of Gowling WLG; Laura Sheridan of Google LLC; and Coke Stewart, Acting Chief of Staff and Senior Policy Advisor, U.S. [read post]
28 May 2018, 4:24 am
Copyright © 2007-2018 Simple Justice NY, LLC This feed is for personal, non-commercial and Newstex use only. [read post]
6 Oct 2023, 10:55 am
Durrell was the former Chief of the Civil Division at the U.S. [read post]
16 Jun 2022, 12:59 pm
Morgan Financial Advisors, LLC (“AGM”) of Massapequa, New York, AGM’s owner Vincent J. [read post]
26 Jun 2019, 1:06 pm
”Below is a full list of Chairman Jay Clayton’s executive staff as of June 2019.Lucas MoskowitzOutgoing Chief of StaffBioSean MemonIncoming Chief of StaffBioBryan WoodIncoming Deputy Chief of StaffBioKristene BlakeDirector of AdministrationKristene Blake serves as Director of Administration to Chairman Clayton. [read post]
3 Jun 2013, 11:43 am
WaldronRaj Date and Fenway Summer LLC has hit a triple for the ages. [read post]
12 Nov 2015, 6:49 am
During an examination of Parallax that the SEC conducted in April 2011, the firm's Chief Compliance Officer represented to the examination staff that he had performed and documented the annual compliance review required by Adviser's Act Rule 206(4)-7 for the year 2010. [read post]
1 Jul 2009, 8:06 pm
Focht, the former Chief Operating Officer of 3V Capital Management LLC. [read post]
16 Jul 2021, 7:25 am
Details of the Massachusetts False Claims Act Settlement Diesel Direct, LLC, its chief executive officer, and its senior vice president will pay $850,000 to resolve allegations that the company violated the False Claims Act. [read post]
5 Aug 2015, 5:35 am
" As more fully explained in the Report:This investigation was initiated on June 30, 2015, based on information provided by Erica Williams, Deputy Chief of Staff, Office of the Chair, concerning alleged potential issues of fairness and bias in the SEC's administrative proceedings, including those introduced in the Timbervest, LLC (Timbervest) matter. [read post]
1 Aug 2022, 4:04 am
Morgan Securities LLC, Respondent (FINRA AWC)Zadeh Kicks Owner and Chief Financial Officer Charged in $85 Million Wire Fraud and Bank Fraud Conspiracy / Fraud victims asked to submit loss information to the FBI (DOJ Release)Arizona Man Sentenced for Role in Investment Fraud Scheme (DOJ Release)SEC Charges Hawaii-Based Submarine Tour Operator and Its Principals with Offering Fraud and Misappropria... [read post]
2 Apr 2021, 12:45 pm
Staff Changes Today, FinCEN announced a change in staff. [read post]
2 Apr 2021, 12:45 pm
Staff Changes Today, FinCEN announced a change in staff. [read post]
7 Aug 2015, 1:23 pm
Neither company admitted to or denied the charges, but both agreed to the sanctions.Brad Bennett, FINRA’s Chief of Enforcement, stated “Morgan Stanley and Scottrade had been alerted to significant gaps in their systems by Finra staff, yet years went by before either firm implemented sufficient corrective measures. [read post]
